Designed for RIAs, broker-dealers, and family offices
Advise faster with AI that stays inside your firm.
Lockdale installs in your AWS, Azure, or GCP environment so advisors produce compliant research, commentary, and client updates without risking SEC or FINRA breaches.
Built around the realities of your operations
Each deployment is tuned to your workflows, systems, and compliance guardrails—so teams adopt it on day one.
Personalized outreach at scale
Generate market commentary, check-in notes, and prospect follow ups that reference holdings without exposing PII.
Surveillance with full audit trails
Comb compliance reviews across trades, communications, and CRM notes with immutable logging for FINRA exams.
Research copilots for advisors
Surface product docs, fee schedules, and suitability analysis instantly, tailored to each household plan.
Outcomes wealth management teams see in the first 90 days
Numbers are based on anonymized averages across recent deployments.
2x outreach
Advisor-led client touches
Automated prep frees relationship managers to focus on high-value conversations.
99% retention
Top household satisfaction
Consistent, tailored communication grounded in real-time portfolio performance.
4 days
From kickoff to pilot
Provisioned in your tenant with supervision controls mapped to WSPs.
The roadblocks holding wealth management teams back
Lockdale is designed to sit inside your environment so every bottleneck is addressed without adding compliance risk.
- Advisors spend evenings producing bespoke commentary for top households
- Supervisory principals struggle to review communications quickly enough
- Fragmented CRM and portfolio systems make meeting prep manual
- Surveillance teams rely on sampling instead of full-text reviews
- SEC and FINRA rules prohibit the use of public AI tools with client data
How wealth management teams use Lockdale day-to-day
We tailor automations and copilots to your documents, terminology, and approval flows so adoption sticks.
Client Communication Drafting
Generate compliant quarterly letters, market commentary, and prospect outreach tailored to each client’s holdings and goals.
Advisor Meeting Briefs
Compile performance, life events, risk tolerance updates, and recommended talking points before every review.
Trade & Communications Surveillance
Analyze trades, emails, and notes in aggregate to flag anomalies, conflicts, or restricted list exposures with audit-ready logs.
Product Due Diligence Summaries
Digest new product literature, compare fees, and highlight fiduciary considerations in minutes.
What the first month with Lockdale looks like for wealth management teams
A proven rollout motion that respects your security controls and change-management requirements.
Compliance alignment workshop
Review supervision procedures, retention policies, and lexicon requirements before connecting data.
Data and workspace segmentation
Connect CRM, portfolio accounting, and research repositories with role-based access down to team level.
Advisor enablement sprint
Pilot with senior advisors, gather feedback, and roll out across branches with tailored training.
Designed to pass security reviews on the first try
Lockdale supports written supervisory procedures with immutable logging, retention controls, and integrations to books-and-records systems so exams proceed smoothly.
Client Result
“We doubled advisor capacity for proactive outreach while cutting compliance review time in half. Client retention in our top decile households hit 99%.”
Jonathan Perez, Managing Partner
A 120-person RIA deployed Lockdale across advisory, marketing, and compliance teams with SOC 2 and FINRA supervision sign-off.
Show us your book of business
Book a demo to see how Lockdale generates compliant client communications and research inside your environment.
We’ll tailor the session to your workloads, compliance needs, and success metrics.